Amy G. Smith

Amy Smith

Overview

Amy Smith focuses her practice on counseling investment companies, independent trustees and investment advisers in connection with regulatory, compliance and transactional issues. Amy advises clients on a variety of investment management and securities law matters, including the formation, registration and ongoing operations of investment companies; the preparation of regulatory filings; the applicability and interpretation of federal and state securities laws; the drafting of compliance procedures and corporate policies; and various transactional matters, such as open-end and closed-end fund mergers and acquisitions. Her experience includes representing:

  • Registered Investment Companies. Amy advises clients on the federal securities laws pertaining to the formation, registration and ongoing compliance of open-end and closed-end mutual funds, including interval funds, multi-manager funds and sub-advised funds. She drafts and reviews critical documents, such as registration statements on Form N-1A, Form N-2 and Form N-14; proxy statements and solicitation materials; information statements; shareholder reports; exchange listing applications; and state law filings. Amy also assists in the preparation of N-14 registration statements in connection with open-end and closed-end fund mergers and acquisitions involving both affiliated and non-affiliated funds.
  • Investment Advisers. Amy participates in counseling investment advisers with respect to their obligations under federal and state securities laws. She also assists in the representation of investment management clients undertaking a corporate merger, acquisition or reorganization.
  • Independent Directors. Amy assists in advising boards of directors on issues arising under the Investment Advisers Act of 1940 and the Investment Company Act of 1940, as well as various corporate governance issues.
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Representative Matters

Amy has assisted:

  • in the representation of a large investment management company complex in connection with a significant project involving the redomestication of its closed-end funds to Delaware Statutory trusts, followed by mergers involving the closed-end funds
  • in the representation of several leading global investment firms, including matters related specifically to registration statement review and compliance, the drafting of complex strategy and risk disclosure, and the launch of novel investment products
  • in the representation of a leading independent global investment management firm in connection with the client’s acquisition of more than 120 funds from a multinational financial services corporation, including certain matters related to the rationalization of the client’s product lineup thereafter
  • with a complex-wide proxy solicitation project of a large investment company client which involved multiple funds with master-feeder structures
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Credentials

Bar Admissions
  • Pennsylvania
Education
  • J.D., Widener University School of Law
  • B.S., University of North Carolina
Memberships

  • Pennsylvania Bar Association

In The Community

Amy is a volunteer “wish grantor” for the Make-A-Wish Foundation® of Philadelphia and Susquehanna Valley.
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